MUS 215: ELECTRONIC DATA RECORDS MANAGEMENT SYSTEMS VISION FOR THE CONSOLIDATION AND GROWING IMPACT OF THE COLLEGE OF GRADUATE STUDIES 2013 – 2015 Pat Ngulube (PhD) ngulup@unisa.ac.za

RECORDS MANAGEMENT METADATA Metadata is defined as data describing the context, content and structure of records and their management through time (ISO 15489 – 1: 2001, 3.12) Metadata is structured or semi-structured information that enables the creation, registration, classification, access, preservation and disposition of records through time and within and across domains Records management metadata can be used to identify, authenticate and contextualise records and the people, processes and systems that create, manage, maintain and use them, and the policies that govern them Initially, metadata defines the record at its point of capture, fixing the record into its business context and establishing management control over it

UNPACKING METADATA Metadata is data about data It is descriptive data about an information source Metadata enables users to retrieve the information that they require and to assess its suitability to meet their requirements There are various types of metadata including metadata about the processes of managing the record The one relevant to the EDRMS context is records management metadata Recordkeeping metadata describes the context, content and structure of records and their management through time It is used to identify, authenticate and contextualise records; and the people, processes and systems that create, manage, maintain and use them In short recordkeeping metadata is the information that enables the record to be identified and managed Metadata is therefore an essential component of an EDRMS

EDRMS SYSTEMS AND METADA A functional EDRMS systems should facilitate the configuration and specification for the capture of optional and mandatory metadata The system should enable records managers to specify different metadata to be captured for different types of records The system automatically capture metadata , metadata that is entered by users when saving records and additional metadata that is entered by records managers when the need arises Before implementing an EDRMS, it is essential to consider what metadata will be required and how the metadata will be captured and managed It is essential to create controlled vocabulary for each metadata element required for the management of electronic records EDRMS must facilitate the capture of minimum mandatory information to ensure authenticity of records

ELECTRONIC DOCUMENTS AND RECORDS MANAGEMENT POLICY The policy is essential because it controls the implementation EDRMS in an organisation Ensures clear communication on the EDRMS strategy Ensures that the EDRMS system delivers on stated benefits Ensures that electronic records and their documentation are retained and accessible as long as needed Help employees make decisions and regulate their workplace behaviour Serve as important forms of internal control The policy should aim at the creation and management of authentic, reliable, complete and usable records which are capable of supporting business functions The development of records and information management policies and procedures alone will not automatically mean that all staff are aware of their existence or will actively adhere to them. Develop awareness and understanding and appreciation of the value of making, keeping and managing full and accurate records The policy should be adopted and endorsed at the highest decision-making level and promulgated throughout the organization

STEPS INVOLVED IN DEVELOPING AN ELECTRONIC DOCUMENTS AND RECORDS MANAGEMENT POLICY Establish the need : is a new policy needed or an existing policy requires adjustment Conducting research to identify the content and direction of the policy, drafting the policy and consulting widely Endorsement of the policy by management and other relevant stakeholders Communicating the policy to all staff and putting the policy’s directives into practice Review: to ensure that the policy and its implementation remain up to date with the recordkeeping environment of the organisation

DEVELOPING A BUSINESS CASE FOR AN EDRMS PROJECT The core of a business case is an assessment of the need, objectives, costs and benefits of implementing an EDRMS project A well-defined business case will assists in getting senior management buy into the project Synopsis of the current situation and how the project will improve management of records and information Business benefits of implementing an EDRMS, including the impact and effect the system will have on business immediately after implementation and beyond : benefits plan Objectives and business drivers Key performance indicators Project budget Plans for stakeholder involvement : role of finance, legal division, risk management, IT department, etc Implementation plan Risk-mitigation strategies Change management initiatives including training: change to business processes, systems and day-to-day work for all employees

RECORDS MANAGEMENT PREREQUISITES FOR AN EDRMS SYSTEM IMPLEMENTATION The first step in considering the acquisition of an EDRMS is to have an established records management program in place Develop organisational information management and records management strategies, standards, policies and procedures Strategies, standards, policies and procedures for the management of information and records, endorsed by senior management Policies for digitisation, the disposition, business classification scheme, and security and access classification schemes should be in place Resource commitment Qualified personnel Integration and migration strategies

POLICIES AND PROCEDURES FOR IMPLEMENTING AN ELECTRONIC RECORDS MANAGEMENT SYTSTEM Appropriate policies, procedures and business rules will need to be developed or updated to support and guide the ongoing use of an EDRMS Records and information management policies and procedures provide information on the current records and information management systems, practices and responsibilities. The policies and procedures should be in line with organisational information management and records management standards Information for employees on how to use the system, for example, user manuals and procedures Rules on aspects of system use, including roles and responsibilities, the particular data to be captured, and how long information needs to be kept Security arrangements for ensuring records are secure and only accessible to authorised staff Information on the system settings which facilitate the correct functionality of the system according to stated business requirements The policies and procedures should be periodically reviewed

RELATIVE ADVANTAGES OF CLOUD COMPUTING Cloud computing means internet computing or storing your data on the internet rather than on personal computers (PCs) Examples of could computing include storing data and information in Google drive, apple icloud and Amazon cloud drive. Just imagine even your What’s Up in on the cloud The use of cloud computing as an alternative to local computing options has risen dramatically over the past few years. The advantages are as follows: provides dynamically scalable infrastructure for application, data and file storage the cost of computation, application hosting, content storage and delivery is reduced significantly: cost efficiency is a notable benefit of cloud computing. Client pays just for the computing resources that they utilize, and stays away from capital use on equipment and programming Cloud Computing offers access wherever the end client may be found: Different cloud computing strategies offers and normally utilize various servers for greatest repetition and maximum performance of delivering information to audiences cloud computing offers backup and recovery of electronic records and archives in cases of emergencies

RELATIVE DISADVANTAGES OF CLOUD COMPUTING Cloud computing has a number of disadvantages One of the disadvantages of cloud computing is the implicit reliance on the cloud service supplier as noted May also compromise privacy thus end clients may feel uncomfortable surrendering their information to an outsider Security may be compromised because in cloud computing each segment and component is conceivably available from the Internet hence this compromises security issues of electronic records Go to this link for further information: https://en.wikipedia.org/wiki/Cloud_computing_security

INFORMATION GOVERNANCE (IG) FRAMEWORK Information governance involves (i) holding information securely and confidentially (ii) obtaining information fairly and efficiently (iii) recording information accurately and reliably (iv) using information effectively and ethically (v) sharing information lawfully and appropriately Information governance policy and practice is influenced by the information governance (IG) framework The information governance (IG) framework has four main pillars (i) IG Policy (ii) IG Governance (iii) IG Training (iv) IG Monitoring IG Policy: corporate scope, objectives and goals of the framework including attainment targets IG Governance: reporting structures and standards, job roles, expectations and accountabilities IG Training: to raise awareness and proper use of the framework IG Monitoring: ensuring compliance with policy and standards